《通用人工智能行为准则》解读及其对人工智能大模型归档的启示
The General-Purpose AI Code of Practice:Interpretation and Archival Implications for AI Models
- Wang Menghan 1, 2 ,
- Wu Zhijie 1, 3 ,
- Zhang Jing 1, 2, 3
摘要
[目的/意义] 人工智能大模型的开发与应用具有分级监管风险、全生命周期动态治理等特殊要求,使得其归档有着不同于一般信息管理系统或平台归档的特殊性。对AI大模型归档研究,有助于适应当前人工智能发展形势,丰富档案管理工作。[方法/过程] 以《通用人工智能行为准则》为研究对象,分别运用BERTopic模型进行主题识别以梳理《准则》中关于AI大模型开发与应用的要求与主要风险,运用DeepSeek V4模型进行内容抽取以归纳面向风险治理的举措及其形成的文件材料。在此基础上,从强调分级监管AI大模型风险、实施全生命周期动态治理及注重完善治理架构3个方面系统分析与解读《准则》,并探讨档案部门作为后端管理主体应如何主动应对上述要求与风险。[结果/结论] 基于上述分析,本文提出档案部门可从实施与风险治理相适应的分级归档、明确AI大模型全生命周期的归档要求以及完善面向风险治理的文件材料归档范围3个方面着手,为我国开展人工智能大模型归档工作提供参考。
Abstract
[Purpose/Significance] The development and application of AI models are subject to specific regulatory requirements covering tiered risk regulation and dynamic full-lifecycle governance, resulting in archiving characteristics distinct from those of conventional information management systems or platforms. Research on the archiving of AI models can keep pace with the evolving landscape of artificial intelligence and enrich both the theory and practice of archival management. [Method/Process] This paper took the General-Purpose AI Code of Practice as the research object. It applied the BERTopic model for topic identification to outline the requirements and major risks concerning the development and application of AI models in the Code of Practice, and employed the DeepSeek V4 model for content extraction to summarize the documents and materials formed for risk governance. Based on this, the paper systematically analyzed and interpreted the Code of Practice from three dimensions: emphasizing tiered risk regulation for AI models, implementing dynamic full-lifecycle governance, and discussed how archival institutions, as back-end management subjects, should actively respond to the above requirements and risks. [Result/Conclusion] Based on the above analysis, this paper proposes that archival institutions can advance the archiving of AI models from three dimensions: implementing tiered archiving matching risk governance, clarifying full-lifecycle archiving specifications, and optimizing the scope of records collection oriented toward risk management, to provide references for the domestic practice of AI models archiving in China.
关键词
《通用人工智能行为准则》 / 人工智能大模型归档 / 风险治理 / 全生命周期归档
Key words
the General-Purpose AI Code of Practice / archiving of AI models / risk management / full lifecycle archiving
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